Notice2026-04222
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 6a-4, Form 1-N
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
March 4, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 42 (Wednesday, March 4, 2026)</title>
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[Federal Register Volume 91, Number 42 (Wednesday, March 4, 2026)]
[Notices]
[Page 10637]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-04222]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0554]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Rule 6a-4, Form 1-N
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is submitting to the Office of
Management and Budget (OMB) this request for extension of the proposed
collection of information provided for in Rule 6a-4 and Form 1-N, as
discussed below. The Code of Federal Regulation citation to this
collection of information is 17 CFR 240.6a-4 and 17 CFR 249.10 under
the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the
``Act'').
Section 6 of the Act \1\ sets out a framework for the registration
and regulation of national securities exchanges. Under the Commodity
Futures Modernization Act of 2000, a futures market may trade security
futures products by registering as a national securities exchange. Rule
6a-4 \2\ sets forth these registration procedures and directs futures
markets to submit a notice registration on Form 1-N.\3\ Form 1-N calls
for information regarding how the futures market operates, its rules
and procedures, corporate governance, its criteria for membership, its
subsidiaries and affiliates, and the security futures products it
intends to trade. Rule 6a-4 also requires entities that have submitted
an initial Form 1-N to file: (1) amendments to Form 1-N in the event of
material changes to the information provided in the initial Form 1-N;
(2) periodic updates of certain information provided in the initial
Form 1-N; (3) certain information that is provided to the futures
market's members; and (4) a monthly report summarizing the futures
market's trading of security futures products. The information required
to be filed with the Commission pursuant to Rule 6a-4 is designed to
enable the Commission to carry out its statutorily mandated oversight
functions and to ensure that registered and exempt exchanges continue
to be in compliance with the Act.
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\1\ 15 U.S.C. 78f.
\2\ 17 CFR 240.6a-4.
\3\ 17 CFR 249.10.
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The respondents to the collection of information are futures
markets.
The Commission estimates that the total annual burden for all
respondents to provide periodic amendments \4\ to keep the Form 1-N
accurate and up to date as required under Rule 6a-4(b)(1) would be 45
hours (15 hours/respondent per year x 3 respondents \5\) and $327 of
miscellaneous clerical expenses. The Commission estimates that the
total annual burden for all respondents to provide annual amendments
under Rule 6a-4(b)(3) would be 45 hours (15 hours/respondent/year x 3
respondents) and $327 of miscellaneous clerical expenses. The
Commission estimates that the total annual burden for all respondents
to provide three-year amendments \6\ under Rule 6a-4(b)(4) would be 20
hours (20 hours/respondent x 1 respondents per year) and $145 in
miscellaneous clerical expenses. The Commission estimates that the
total annual burden for the filing of the supplemental information \7\
and the monthly reports required under Rule 6a-4(c) would be 18 hours
(6 hours/respondent per year x 3 respondents \8\) and $196.20 of
miscellaneous clerical expenses. Thus, the Commission estimates the
total annual burden for complying with Rule 6a-4 is 128 hours and
$995.20 in miscellaneous clerical expenses.
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\4\ 17 CFR 240.6a-4(b)(1).
\5\ The Commission estimates that three exchanges will file
amendments with the Commission in order to keep their Form 1-N
current.
\6\ 17 CFR 240.6a-4(b)(3) and (4).
\7\ 17 CFR 240.6a-4(c)
\8\ See supra footnote 7.
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Compliance with Rule 6a-4 is mandatory. Information received in
response to Rule 6a-4 shall not be kept confidential; the information
collected is public information.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202512-3235-021">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202512-3235-021</a> or email comment to
<a href="/cdn-cgi/l/email-protection#3a77786214757778147573687b14697f79655e5f495165555c5c53595f487a555758145f554a145d554c"><span class="__cf_email__" data-cfemail="a9e4ebf187e6e4eb87e6e0fbe887faeceaf6cdccdac2f6c6cfcfc0caccdbe9c6c4cb87ccc6d987cec6df">[email protected]</span></a> within 30 days of the day
after publication of this notice, by April 6, 2026.
Dated: February 27, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-04222 Filed 3-3-26; 8:45 am]
BILLING CODE 8011-01-P
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